DAM LEGISLATION LEGISLATION

DAM LEGISLATION LEGISLATION

Updated Issue 2020

NOTICE - DISCLAIMER:

The information, analyses and conclusions in this document have no legal force and must not be considered as substituting for legally-enforceable official regulations. They are intended for the use of experienced professionals who are responsible to judge their pertinence and applicability.

It is emphasised that the purpose is not to prepare the basis of a common legislation.

This document has been drafted with care but we cannot guarantee that it covers all aspects of the discussed topics.

One must pay attention to the fact that the report gives only a summary of the legislation in use in each Country. It is impossible to explain all the details and the intricacies of the laws, standards, etc.

We decline all responsibility whatsoever for how the information herein is interpreted and used.

Do not read on unless you accept this disclaimer without reservation.

Dam Legislation Report

2001 Report

• A 2001 Report was prepared by a Working Group chaired by Patrick Le Delliou, composed of members from 14 Countries, with the purpose of comparing the dam legislation in European Countries. It is emphasised that the purpose was not to prepare the basis of a common legislation.

• The 2001 Report was divided in two main parts :

− Description of the Regulations. The Group decided to focus on some pre-selected items.

− Comments on the similarities and differences.

• Note: Germany is organised as federal state and all the German states have their own legislation. The requirements described in the 2001 report were manly those of the state of North-Rhine - Westphalia.

• In Annex 1 some data about the dams in each Country were given, according to the ICOLD’s Dam Register.

2007 Report

• A 2007 Report was prepared by a “scouting” Working Group chaired by Giovanni Ruggeri, composed of 4 Countries (France, Italy, Norway, Portugal), having the purpose of defining the activities to be proposed for a possible subsequent “Legislation Project” aimed to make available updated information on “Dam legislation” in European Countries.

• The frame of the 2001 Report, confirmed as a valuable basic platform, was slightly revised:

− two additional “Sections” were introduced (Section 1, Section 3),

− item “H –Dam Decommissioning” was added in Section2,

− it was decided to annex the files of the legislation documents (original language, English translation if available).

• The information relevant to the four Countries (France, Italy, Norway, Portugal) was updated.

2001 and 2007 Working Groups

Country

Working Groups

2001 2007

France Italy Norway Portugal Austria Finland Germany Netherlands Romania Slovenia Spain Sweden Switzerland United Kingdom

P. Le Delliou (Chairman) R. Paolina, L. Tomasi Traagstad

F. Teixeira Direito R. Melbinger

E. Loukkola, T. Majiala J. Koengeter, K. Rettemeier Tj. De Haan, R. E. Jorissen D. Hulea

A. Kryzanowski J.A. Herreras A. Lindh H. Pougatsch

J.A. Charles, R. Vincent

P. Le Delliou

G. Ruggeri (Chairman) T. Konow

J.A. Rocha

Dam Legislation Report

Updating process

•

The activity of the 2001 and 2007 Working Groups confirmed the widespread interest for an easy access to information on the dam legislation applied in European Countries. A significant evolution in dam legislation was also confirmed, and a “continuous” updating of the information was therefore recognised to be necessary.

•

Following the completion of the 2007 Report, the information updating process is therefore entrusted to the direct responsibility of the National Committees of the European Club of ICOLD.

Note: the Annex 1 of the Report (“Data about Dams”) is taken – without any modification - from

the 2001 Report. It contains “almost static” information, only marginally involved in an updating

process.

CURRENT UPDATING

Country

Updating Date

Albania Portugal Germany Norway Netherlands United Kingdom France

Sweden Italy Ireland Finland Switzerland Slovenia Spain Sweden Austria Romania

2020

2020

2019

2018

2017

2016

2015

2015

2014

2014

2014

2014

2014

2013

2012

2001

2001

UPDATING PROCESS – Notes

2011 - Switzerland : confirmation that the information are still up-to-date

2011 – Ireland : information that there is no Dams Legislation

2011 – Finland : full updating

2012 – Norway: full updating

2012 – Sweden : full updating

2013 – Spain: full updating

2014 – Slovenia: full updating

2014 – Switzerland : updating

2014 – France : updating

2014 – Finland : updating

2014 – Ireland : confirmation of information

2014 – Italy : updating

2014 – Netherlands : updating

2015 – Sweden : updating

2015 – France: full updating

2016 – United Kingdom : full updating

2017 – Netherlands : updating

2018 – Norway: updating

2018 – Germany: completely updated version

2019 – Ireland: confirmation of information (no dam legislation)

2019 – Germany: updating (DTK/SIEBER)

2020 – Portugal: full updating

2020 – Albania: full updating

INDEX

SECTION 1 : BASIC LEGAL FRAMEWORK

SECTION 2 : BASIC INFORMATION A. Dams subjected to Regulation B. Entities concerned

C. Dam projects

D. Construction and first filling E. Dams operation

F. The repair of dams

G. Rules for the protection of the population H. Dam decommissioning

SECTION 3: MAIN DOCUMENTS

List and synopsises - Files of the legislation documents

ANNEX 1: Some Data about Dams

SECTION 1

Basic Legal Framework

ALBANIA

Dam safety legislation covers all large dams in Albania. There are some 360 classified large dams in Albania.

The first Dam Safety Act and Decree were enacted in 1986. In 1986, the Government decided to establish the Albanian Committee of Large Dams. In this Decision, there are given the main tasks of this Committee to control implementation of technical standards and norms during the process of design and construction of large dams. Also, the main task of this Committee was to approve the Project Ideas and Details design of new Dams and Dikes as well as projects of repair and rehabilitation of existing large dams and dikes which are in use. The legal framework for dam safety has been reformed and the new Dam Safety Law was enacted in 2000 and the new Government Decree on Dam Safety in 2004. The Law No.8681, dated 02.11.2000 “On the Design, Construction, Operation and Maintenance of Dams and Dykes is translated into English.

This Law aims to build the basic legal and Institutional framework from which will derive the whole necessary documentation which regulates the process of design, construction, operation and maintenance of large dams and dikes.

According to legal point of view, the user of a dam is responsible for any damage that the dams, directly or not, can create in case of a problem, incident, failure or during normal operation. The general obligations of the user are defined in law No.8681, clause 9.

But the central Authority takes also his part to guarantee the general public safety and, for that, the authority (Albanian government and its representatives) supervises the action of the owner and user for dam safety.

The Government Decree No. 147, dated 18.03.2004 “On Dam Safety Regulation” give more details on:

• Process of planning, design, construction, operation, maintenance, monitoring and safety of the large dams.

• State bodies which exercise their activities on the control of Dam Safety

• Main tasks of Users during the operation and maintenance of large dams for preparation of Emergency Plans and implementation of Guidelines and Rules of ALBCOLD

• Main tasks of ALBCOLD and other state Bodies (National Agency of Civil Protection, Ministry of Infrastructure and Energy, local authorities, etc) for control of Emergency Plans and their implementation, control of Monitoring systems, control of large flows, control of spillways conditions before rain season, etc.

The Government Decree No. 04, dated 18.07.2003 has approved the Guideline on the Requirements of Legal and Technical documentation for Large Dams.

On 28.01.2000, 6 (six) ministries that are responsible for the public safety has approved the guideline on the preparation of Emergency and Alarms Programmes for dam failure cases. It is translated into English

Water Resources, Lakes, rivers and water reservoirs in Albania are regulated by the Law No.

111/2012 “On the Integrated Management of Water Resources”, amended.

To strengthen the capacities of the water resources management, the EU is supporting the

management of river basins and improving the legal framework in line with the EU legislation.

FINLAND

Dam safety legislation covers all dams in Finland, although not all dams are classified. There are some 420 classified dams in Finland.

The first Dam Safety Act and Decree were enacted in 1984. In 1985, the first guidelines for design, construction, operation and inspection of dams (Dam Safety Code of Practice) were published. The legal framework for dam safety has been reformed and the new Dam Safety Act was enacted in 2009 and the new Government Decree on Dam Safety in 2010. In addition, the new Dam Safety Guide is now on trial and will be published in 2012. The Dam Safety Guide will also be translated into English and Swedish.

The Dam Safety Guide explains and describes the contents of the Dam Safety Act and the Government Decree on Dam Safety more in detail. The Guide contains recommendations on how to meet the dam safety legislation requirements and gives some general guidelines e.g. about planning, design, construction, operation, inspection and maintenance of a dam.

FRANCE

According to legal point of view, the owner of a dam is responsible for any damage that the dams, directly or not, can create in case of a problem, incident, failure or during normal operation. The general obligations of the owner are defined in few laws, especially a law on water, and laws and decrees for public safety.

But the authority takes also his part to guarantee the general public safety and, for that, the authority (French government and its representatives) supervises the action of the owner for dam safety. For some dams (industrial ones) there is also a control of the administration due to the concession system.

The French regulation was largely renewed in 2007 (in particular a general degree of 11

December 2007) and later, following the general law on water (December 2006) even if there are not yet detailed prescriptions for dimensioning and conception. The rules were modified in 2015 (decree of 12

May 2015). All the regulations can be found in “Environment Code”

(http://www.legifrance.gouv.fr/affichCode.do?cidTexte=LEGITEXT000006074220). State of art is the main guide for the projects of new dams or the checking of the safety of existing dams.

GERMANY

Germany´s present federal “Water Resources Act” (“Wasserhaushaltsgesetz”, “WHG”) was

issued on 31 July 2009 and is in force since March 2010. An updated version from 18 July 2017 is

now in force since January 2018. This updated version has for the first time inserted a regulation

regarding dams and reservoirs. All dams retaining water (including permanent impounded river

embankment dams) are governed by this Act. According to paragraph 36(2) of this Act dams are to

be designed, planned, built and operated according to the generally accepted technical rules and

standards (the “state of the art” requirement) and if already erected dams do not fulfil this

specification they have to be adapted accordingly. Additionally the Act determines that the owners

or operators of dams have to supervise their plants. The responsible Water Authorities (in each of

the German federal states) have to check this process.

In all the federal states of Germany there exist as well State Water Acts, which came into force long-time before the present federal “Water Resources Act” was issued. The elder State Water Acts of those among the 16 German federal states in which many large dams are present (for instance North-Rhine - Westphalia, Saxony, Thuringia) already icluded regulations with respect to dams very similar to the regulations in the above mentioned federal “Water Resources Act”. They also require that dams have to be (at least) in line with the appropriate generally accepted technical rules and standards.

The following table gives an overview of the legislation in Germany´s federal states with respect to dams.

Federal State of Germany State Water Act concerning dams

Decrees etc.

concerning dams

Baden-Württemberg yes Yes

Bavaria no Yes

Berlin no No

Brandenburg yes Yes

Bremen (yes) No

Hamburg no No

Hesse (yes) Yes

Lower Saxony (yes) Yes

Mecklenburg-W. Pomerania no No

North-Rhine - Westphalia yes Yes

Rhineland-Palatinate yes Yes

Saarland (yes) Yes

Saxony yes Yes

Saxony-Anhalt (yes) Yes

Schleswig-Holstein no No

Thuringia yes Yes

(yes) = only regarding specific requirements in the permit issuing process

In accordance with the federal “Water Resources Act” and the State Water Acts the erection and commissioning of dams (as well as their decommissioning and removal too) requires a state permit following a complex approval procedure under public law, in which all relevant aspects have to be taken into account. The approval procedure under public law is regulated in detail by the German federal “Administrative Procedures Act” (“Verwaltungsverfahrensgesetz”).

The environmental impact assessment, i.e. the compatibility of the project with all environmental regulations, is an independent part of the mentioned approval procedure. According to Appendix 1 of the German federal “Act on the Environmental Impact Assessment” (“Gesetz über die Umweltverträglichkeitsprüfung”, “UVPG”) the examination of compatibility with environmental regulations is obligatory for all dams which have a reservoir volume ≥ 10 million m³. For the erection of dams with a reservoir volume < 10 million m³ it is an obligation if the responsible authority demands such an examination following from a specific judgement of the dam´s environmentally consequences in each single case.

Other requirements such as detailed and specific technical and operational requirements regarding

dams (including dam safety) are not governed by laws or acts. They are subject of technical

standards, guidelines and other recommendations, issued e.g. by technical associations and

institutes. In some German federal states (see in the table above) there exist decrees or

administrative regulations which are to be considered by the relevant authorities and by the dam owners or operators in the bound of administration processes regarding “their” dams.

IRELAND

There is currently no specific Dams Legislation in Ireland.

Dam safety practised are the responsibility of the dam owners

ITALY

The use of water by means of dams is regulated by a general Act issued in 1933, Royal Decree. n°

1775. The authority for the concession to the use of water is currently assigned to the Regional Administrations (Italy is subdivided in 21 regions).

The Owner has the legal responsibility for any damage the dam can create in case of problems, incidents, failure or during its normal operation.

For the “large” dams” a national Authority is responsible of the technical evaluation and approval of new projects, and supervise the actions of the owner for the safety of the dams in operation. From 2003 to 2006 the Dam Authority was as an autonomous organisation (named “Registro Italiano Dighe - RID”); in 2006 it returned to be part of the Ministry of the Public Works, as it was in the past.

The “small” dams” refer to the Regional Authorities and regional laws.

The basic legislation for the large dams is the “Dam Regulation”, regulating the design, construction and operation of dams. It is composed of two parts:

−

Part I, issued in 1959, (“Regulation for the Design, Construction and Operation of Dams – Part I”, DPR n° 1363) defining the general and administrative rules.

−

Technical Rules for the design and construction of dams: currently both the Technical Rules issued in 1982 (updating the Part II of the 1959 Regulation) and the new Technical Rules issued in 2014 are applicable (for a 18 months “co-existence period”). Projects under construction, or already approved before the date of entry into force of the updated Technical Rules, can be completed making reference to the old Technical Rules until the end of works and relative acceptance tests.

More recent national laws updated some parts of the basic Regulation, and/or integrated it addressing some additional specific subjects. In particular in 1994 the Law n. 584 updated the definition of the “large dams” (which refer to national legislation and Authority) increasing the lower limit of the basic dimensional parameters (dam height ≥ 15 m, reservoir volume ≥ 1 Mm

).

Smaller dimensional parameters were used before (10 m, 100.000 m

).

In addition to Laws, legal directions concerning some specific topics are defined in “Circulars”, usually issued by a Ministry. The Circulars have a hierarchic level lower than Laws; in case of discrepancies with a Law, the Law prevails.

The “Part I” of the Dam Regulation (“General Rules”) is currently under revision. A final draft of

the updated “Part I” was addressed in 2007 to the political authorities for the issuing process.

There are no Guidelines/Recommendations without legal obligation.

NORWAY

Until the 1980s the safety level for planning, construction and operation of dams was given by technical standards and good engineering practice. In addition there were specific requirements for protection of hydropower facilities against war actions, which also included many dams, given by a Committee for Civil Defense for the Hydropower Sector in Norway (KSFN). The first regulations for dam safety in Norway were issued in 1981 with focus on technical requirements for construction of dams. In the 1990s, requirements for dam owner’s internal control, classification and qualifications were introduced. In 2001, the legal framework for dam safety was revised and 3 new regulations were issued with a legal basis in the Water Resources Act.

In January 2010, a new regulation on safety of dams and other hydraulic structures was issued with a legal basis in the Water Resources Act. This regulation replaces the previous regulations issued in 2001 as well as requirements for protection of dams against war and terrorist actions which had a legal basis in The Energy Act and in the Civil Defence Act. All requirements regarding dam safety have thereby been assembled in one regulation, the dam safety regulation of 2010. There are requirements for qualifications (of dam owner personnel, consultants and contractors), dam owner organization (presence and responsibility of key personnel), classification, design, construction and operation. In addition to the dam safety regulation of 2010, there are several technical guidelines on dam safety.

The dam safety regulation covers all dams and appurtenant structures, for all purposes (water supply, hydropower etc), and also headrace tunnels and penstocks for hydropower production. The dams are classified in 5 classes according to consequences in case of failure, and requirements are given according to the consequence class. Thus, only a few requirements are given to dams in the lowest consequence class (class 0), while most requirements and also the most severe requirements are given to dams in the highest consequence class (class 4).

The Water Resources Act is approved by the Norwegian parliament, while the dam safety regulation is approved by Royal Decree. The Ministry of Petroleum and Energy is given the formal responsibility of these, while the Norwegian Water Resources and Energy Directorate (NVE) have the executive authority to administer the regulation. NVE are also responsible to develop guidelines, which extend the requirements in the regulation, and to supervise the dams and the dam owners.

PORTUGAL

Dam safety has been a subject of concern for many years, owing to the potential damage often associated to scenarios of failure or to other serious incidents.

In Portugal, the first regulation about dam safety was issued in 1968, concerning “Small Earth Dams”.

In 1990, an altogether different regulation applying to large and medium sized dams was issued, the

"Regulations for the Safety of Dams" (RSB), introducing three classes of consequences. Almost at

the same time, in 1993, a new “Regulation of Small Dams” was also issued, thus being kept in place

two substantially different approaches concerning large and small dams. In 2007 RSB was thoroughly revised.

Recently, a revision of both regulations was issued, that further differentiates regulatory safety approaches and rules concerning small and large dams.

Thus the Decree-Law 21/2018, March 28, incorporates two regulations: “Regulations for the Safety of Dams” (RSB), concerning large dams, in annex III, and “Regulation of Small Dams” (RPB), in annex II. Also a unified system for the classification of dams for both regulations is displayed in annex I, establishing three classes, defined on the basis of both consequences and dimensions.

There are also codes of practice for design, construction and observation and inspection of dams for due and proper execution of the above mentioned Regulations.

RSB applies to “large dams” dams, defined on the basis of a dimensional criteria of dam height greater then 15m, and additionally of reservoir capacity greater than 1.000.000 m3 (1 hm3) with height greater than 10m. This RSB definition of “large dam” is broadly based on the ICOLD definition.

RSB establishes the forms of controlling dam safety, namely in the stages of design, construction, first filling of the reservoir, operation, abandonment and demolition, including in particular surveillance and emergency planning measures. Due to the spectrum of dams concerned, provisions for differentiating obligations according to dam size and potential damage are included.

The Portuguese Environment Agency (APA), from the Ministry of Environment, is vested with the role of Dam Safety Authority (regulator), having general competence in supervising owners’

compliance with the Regulations.

For Class I dams APA gets the technical support of the National Laboratory of Civil Engineering (LNEC).

For smaller dams the “Regulations for Small Dams” apply.

The Water Law incorporates in its provisions the need for compliance with dam safety regulations.

SLOVENIA

The legislation covering the dam safety in Slovenia is very loose and scattered, however it sets basic rules for both the planning process, as for the construction and operation of dams and civil protection in extreme situations. Area that is not covered by legislation is the decommissioning of dams.

Dam safety in Slovenia can be divided in 3 levels: structural safety (design and construction phase), operational safety and functionality (exploitation phase, in normal conditions), operation in extreme conditions (emergency action planning and alarming).

The basis for dam safety is given by two acts: Water act from 2002 (for operational phase) and Construction act from 2000 (for design and construction phase). Apart the two mentioned laws there is also the Act of defence against natural and other disasters, which sets as obligatory the elaboration of Emergency action plans. The acts mentioned above are accompanied by several decrees-standards and rules that regulate more precisely the phase of design, monitoring and elaboration of emergency action plans. However there is no act or regulation that ensembles all the aspects of dams safety in one place.

The regulation that covers the part of spatial planning and the requirements for elaboration refers also to medium and smaller dams, but the regulation of the operational phase (operation and maintenance) mostly applies to large dams, according to old ICOLD classification (definition of large dams used before 2011: dams higher than 15m and dams higher than 10m with reservoir exceeding 1million m

, spillway capacity 2000m

/s, dam crest longer than 500m). However the extent of care can be expanded by rules for operation and maintenance which (according to the water law) should be prepared for a single dam.

SPAIN

The main basic public safety around dams is called Basic guideline for civil protection against risk of flooding (1994), whose main points are the classification of all dams/ponds depending on the potential downstream damages in case of failure or malfunctioning (A, B and C) and the need of emergency action plans for risky dams/ponds (A and B dams).

Furthermore, Spain currently has three dam safety regulations: Instruction for the project,

construction and operation of large dams (1967), which applies only to large dams (H> 15 m or

between 10 and 15 m and V = 100,000 m

) of private owners, the Technical Regulation about safety

of dams and reservoirs (1996), which applies to large dams and dams classified on A and B

categories state owned, and since January 2008, the amendment of the Public Water Regulation,

which includes the need of developing three Safety Technical Standards which once approved, they

will be the only applicable regulations on dam safety.

In the three cases, the dam owner is the main responsible of dam safety.

And as complement to these three regulations, a total of eight Technical Guidelines have been developed by the Spanish National Committee on Large Dams, all of them representing the current state of the art in safety, design, construction and operation of dams.

SWEDEN

Sweden has no specific law concerning dam safety. Rather, several different statutes are applicable to dams and dam safety issues. The most important regulations are found in the Environmental Code and the Civil Protection Act.

The central principle in the Environmental Code is that the owner of an enterprise shall continuously plan and monitor the operations through self-regulation in order to prevent or counteract harm to human health or the environment. He is obliged to acquire the required knowledge, investigate and evaluate the risks related to the enterprise, draw up and follow routines for self-regulation, as well as to take the measures required and have preparedness in order to avoid damage. The Owner is obliged to maintain the dam and in doing this he shall use the best available technology and the precautionary principle. Should a dam failure nevertheless occur, then the owner is liable for damage caused by the dam failure. Within this set of rules and regulations there are also government ordinances concerning owners’ self-regulation and the role of supervisory authorities.

In 2014 new legal requirements on dam safety was introduced in the Environmental Code and a Dam Safety Ordinance was enacted. The main revisions include the introduction of a consequence classification system, with dam safety classes A, B and C, for dams based on an assessment of the societal consequences of a dam failure. (Dam safety class A – severe national consequences, B - severe regional and local consequences, C – severe local consequences from a societal point of view in the event of a dam failure.) Furthermore the owners of classified dams are required to establish and work according to a safety management system, to conduct safety reviews and to submit annual dam safety reports and to pay an annual fee to the supervisory authority.

The aim with the Civil Protection Act is to give equal protection against accidents for people’s life and health as well as for property and environment in the whole country, taking local circumstances into consideration. Dams and other facilities where an accident may result in serious damage to people or the environment are classified as dangerous activities, with special demands on emergency preparedness.

The power industry and the mining industry have drawn up technical guidelines for dam safety. The guidelines address design, construction, operation, maintenance, surveillance and emergency preparedness planning for dams. Guidance on dam safety and dam safety management are set in relation to the assessed consequences of a dam failure.

UNITED KINGDOM

The United Kingdom comprises four regional administrations, England, Wales, Scotland and

Northern Ireland. Reservoirs in England and Wales are regulated under the Reservoirs Act 1975, as

amended by the Flood and Water Management Act 2010, and this is enforced by the Environment

Agency in England and Natural Resources Wales, in Wales.

In Scotland the Scottish Environmental Protection Agency enforces the Reservoirs (Scotland) Act 2011.

Reservoirs in Northern Ireland are regulated by The Reservoirs Act (Northern Ireland) 2015. This

act is being implemented in phases by a division within the Competent Authority referred to as the

Reservoirs Authority.

SECTION 2

Basic Information

A. Dams subjected to Regulation B. Entities concerned

C. Dam projects

D. Construction and first filling E. Dams operation

F. The repair of dams

G. Rules for the protection of the population

H. Dam decommissioning

ALBANIA

The Dam Sector in Albania is regulated by Law No.8681 “On the Design, Construction, Operation, Safety and Maintenance of Dams and Dykes”. This law is applied for all large dams and dykes which are new or in use, extended in the entire territory of the Republic of Albania and which meet the following conditions:

a) The height of dam/dyke should be over 15 m or

b) The height of dam should be 10 to 15 m when the length of the dam crest is over 500 m or the volume of accumulated water in reservoir is over 1 million m3

c) Any other dam/dyke, which does not meet the conditions “a” and “b” but it is a risk for third Parties

The dam safety regulation is valid for all large dams in Albania, independent of the purpose of the dam.

The user of the dam is the main responsible for the dam safety and consequence derived from the dam failure or possible accidents in the dam/dykes. The user of the dam covers all expenses related to the use, maintenance, repair, improvement and all activities related to the dam safety and third parties.

Government Decree No. 147, dated 18.03.2004 “On Dam Safety Regulation” describe the Rules on Dam safety. There are given the Institutions and Authorities that are responsible for Design, Construction, Safety and Monitoring of Large Dams.

AUSTRIA

There is a Federal Water Law in Austria. All dams operating water, including of course river barrages, are subject to this law - i.e. the Water Authority (the administration body enforcing the Law) authorises construction and operation and also exerts supervision as to the state and behaviour of the dam and the owner's activities concerning dam safety.

FINLAND

The Dam Safety Act and Decree apply to all dams in Finland regardless of its height. This includes watercourse dams, flood embankments, tailings dams and waste dams that are used to impound liquids or solids that are harmful or dangerous to health or the environment.

Dams are classified by the type of hazard they pose if an accident occurs:

• Class 1 dam, which in the event of an accident causes danger to human life and health or considerable danger to the environment or to property.

• Class 2 dam, which in the event of an accident may cause danger to health or greater than minor danger to the environment or to property.

• Class 3 dam, which in the event of an accident may cause only a minor danger.

The dam safety authority makes a decision on the classification of a dam based on the documentation provided by the dam owner. The classification is not needed if the dam safety authority considers that the dam does not cause any danger.

All dams, including non-classified dams, have to be kept in such a condition that the dam is safe. The dam owner is always responsible for the dam.

A. DAMS SUBJECTED TO REGULATION

FRANCE

According to the law on water, an authorisation by the administration is needed before construction of a dam whatever its height may be. For that authorisation, a technical file is presented by the owner.

However, the French regulation (decree of December 2007) divided the dams into three classes (A, B and C) according to the height H of the dam above ground level and the normal volume V of the reservoir. The index C is so calculated :

C = H² x V^0.5 where H is in meter and V in millions of cubic meters

Class A : dams with H above or equal to 20m and with C above or equal to 1500.

Class B : dams not in class A and with H between 10m and 20m and with C above or equal to 200.

Class C : dams following one of the 2 conditions :

• not in class A and B and with H higher than 5m and C above or equal to 20

• not in class A,B and with H higher than 2m and V> 50000 m³ and with at least one inhabitant within 400m downstream of the dam.

When this is imposed by a special level of risk, the authorities can modify the class of a dam. Furthermore, dams higher than 20 m and with a reservoir above 15,000,000 m³ (and other dams when needed) are subjected to a regulation for emergency planning.

The inventory of the dams is still in progress (especially for smaller ones). There are about 220 dams of class A, 420 of class B, 2000 dams of class C and several dozens of thousands of dams not classified but with H above 2m.

GERMANY

The (in section 1 mentioned) new regulation of the German federal “Water Resources Act” (version 2017) regarding dams governs all dams without exception, whereas the regulations of the elder State Water Acts of the German federal states in most cases only apply to dams of a certain size (height and storage capacity).

The mentioned limits of height and storage capacity vary from state to state but not within a wide range. For instance: the North-Rhine - Westphalia´s and Saxony´s State Water Acts apply to dams with a dam height H

> 5 m and reservoir volume V > 100,000 m³.

All federal states of Germany consider the standard DIN 19 700 “Dam plants” developed by the German standardisation body DIN (“Deutsches Institut für Normung”) and additional technical guidelines as the so called “generally accepted rules of technology” (“state of the art”) which are to be taken into account and complied with.

The standard DIN 19 700 consists of six parts and distinguishes five types of dams (see following table) with respect to the technical and operational requirements. DIN 19 700 applies in principle to dams of all sizes and dimensions. As the standard DIN 19 700 is acknowledged to be “state of the art” , even dams which are not governed by the regulations of a State Water Act have to comply with the recommendations of DIN 19 700 - and to meet the “outshining” regulation of the federal “Water Resources Act”.

Types of dams according to the German standard DIN 19 700 “Dam Plants”

Part of DIN 19 700 Title of the part Remarks

10 (July 2004) General specifications Valid for all types of dams

11 (July 2004) Dams (and reservoirs) Partly valid for all dams, especially for the retaining structures (fill dams, gravity dams) 12 (July 2004) Flood retarding basins Impounded and not impounded (“green”)

reservoirs as well as flooding polders

13 (June 2019) Weirs Weir structures and impounded dams 14 (July 2004) Pumped storage reservoirs Mainly upper reservoirs of hydropower

pumped storage plants

15 (July 2004) Setting ponds (Tailings dams) Erection, operation and decommissioning

The special technical, operational and further requirements with respect to dams in Germany depend on the classification since the latest edition of DIN 19 700 was published in 2004. Part 10 of DIN 19 700 defines the main principles for dam classification. The size of the dam, the volume of the reservoir and - currently yet in a more qualitative sense - the importance and the hazard potential of the dam are the criteria for classifying a dam into a specific dam class. Taking that into account different dam classes were defined for the various types of dams as follows:

Dams and reservoirs (DIN 19 700, part 11) - Large dams (class 1):

Height from the deepest point of foundation H > 15 m or total storage V > 1 million m³ - Medium and small dams (class 2):

H ≤ 15 m or V ≤ 1 million m³

Flood retarding basins (DIN 19 700, part 12) - Large basins:

Height from the deepest point of foundation H > 15 m or total storage V > 1 million m³ - Medium basins:

H ≤ 15 m and > 6 m and V ≤ 1 million m³ and > 100,000 m³ - Small basins:

H ≤ 6 m and V ≤ 10,000 m³

For better considering the specific conditions and circumstances connected with small and very small dams an additional guideline was developed for the classification and management of such dams. The Guideline DWA (“Deutsche Vereinigung für Wasserwirtschaft, Abwasser und Abfall”) M 522/2015 “Small dams and small flood retaining reservoirs” distinguishes between:

- Small dams with H ≤ 6 m and > 4 m (above the deepest point of the foundation) and V ≤ 100,000 m³ and > 50,000 m³ (total storage),

- Very small dams with H ≤ 4 m (above the deepest point of the foundation) and > 2 m (above the downstream toe of the dam) and V ≤ 50,000 m³ (total storage) and > 10,000 m³ (filled up to maximum operating level)

- Smallest dams with H ≤ 2 m (above the downstream toe of the dam) and V ≤ 10,000 m³ (filled up to maximum operating level).

Weirs (DIN 19 700, part 13)

The classification of weir plants considers the difference (Δh

) between normal operating headwater and mean tailwater at the lateral weir structure as well as the difference (Δh

) between the normal operating water level of the permanent impounded longitudinal embankment dams and the level of their downstream toes. The hazard potential has to be considered additionally. In this connection one has to distinguish between high, medium and low hazard potential depending on categories of potentially affected settlements and infrastructure.

Lateral classification (conditions at the weir structure)

- Weir plant with Δh

≥ 5 m and hazard potential high → class I, medium → class I, low → class II

- Weir plant with Δh

< 5 m and ≥ 1,5 m and hazard potential high → class I, medium →

class II, low → class III

- Weir plant with Δh

< 1,5 m and hazard potential high → class II, medium → class III, low

→ class III

Longitudinal classification (conditions at the embankments):

- Weir plant with Δh

≥ 3 m and hazard potential high → class I, medium → class II, low → class III

- Weir plant with Δh

< 3 m and ≥ 0,5 m and hazard potential high → class I, medium → class II, low → class III

- Weir plant with Δh

< 0,5 m and hazard potential high → class II, medium → class III, low

→ class III

The resulting “most dangerous” class (I > II > III) is to apply for further decisions and measures.

The simplified assessment of the hazard potential depends on the following categories.

- High hazard potential: permanent occupied settlements, industrial plants, very important facilities, plants with high consequences in case of flooding, nationwide infrastructure - Medium hazard potential: single houses, regional and local infrastructure

- Low hazard potential: agricultural areas, natural landscape :

Pumped storage reservoirs (DIN 19 700, part 14)

Dams of this type are to be classified according to DIN 19 700, part 11 (like other dams and reservoirs).

Setting ponds (Tailings dams) (DIN 19 700, part 15) - Large tailings dams (class 1):

Height from the deepest point of foundation H > 15 m or total storage V > 100,000 m³ - Medium and small tailings dams (class 2):

H ≤ 15 m or V ≤ 100,000 m³

ITALY

The “large dams” subjected to the national Dam Authority are defined by the following dimensional parameters: height H 15 m, or reservoir volume V 1.000.000 m³. The dam height is the difference between the elevation of the crest and the elevation of the lowest intersection point between the upstream/downstream face and the ground level.

Before 1994, lower dimensional parameters were used (10 m, 100.000 m³).

Smaller dams

The responsibility for smaller dams is assigned to the Regions (Italy is subdivided in 21 Regions). The situation is consequently not homogenous. Some Regions have defined their regulation (both General Directions and Technical Directions). Other Regions haven’t done anything, yet. In some of the regional Regulations issued till now, some criteria related to the “risk level” (just in terms of “consequences in the exposed downstream areas”) are used, while they are totally absent in the current national regulation for large dams.

NETHERLANDS

In the Netherlands the vast majority of dams are flood protection structures. Depending on the nature of the threat, where a distinction is made between large open water bodies and more regulated bodies of waters, these flood protection structures are divided into two classes :

• primary flood protection structures of national interest (over 3500 kilometres in length, varying in height (above mean water level) from 3 to 13 metres) ;

• secondary structures, mostly smaller dikes, about 15000 km in length.

The latter class is not considered in this paper.

The Water Act (2009) integrates a range of former water-related legislation including the Flood Defences Act of 1996. In relation to water defences, the Water Act contains an Annex with an overview of primary water defences, and sets conditions for the primary flood protection structures in terms of the responsibilities of the authorities involved, the safety standards, the regular safety assessment, the procedure for reconstruction of structures and the framework for financing of reconstruction and maintenance.

The contents of the Annex has recently been changed because of a safety standard update (standards in terms of flooding probabilities rather than water level exceedance probabilities, and referring to dike stretches rather than full dike rings to allow for differentiation).

Primary water defences (including large dams) which directly protect the hinterland, are directly assigned a safety standard from the Water Act. For (mainly estuarine) dams which separate two water bodies, it generally has been not the Water Act itself but the underlying regulations which assign the safety standards.

The Netherlands has only one large dam which is not assigned (and does not serve) as a water defence properly speaking: the ring dike surrounding the IJsseloog sludge depot in Lake Ketelmeer, between the Dutch towns of Dronten and Emmeloord. For this particular dam, the General Provisions Act on Environmental Law is the most relevant, together with the Environmental Management Act and the water- quality related parts of the Water Act.

NORWAY

The dam safety regulation is valid for all dams in Norway, independent of the purpose of the dam, but requirements are to some extent adjusted to the consequence classes. Thus the most severe requirements are given to dams in the highest consequence class. However, for dams and waterways in the lowest consequence class (0) only a few specific requirements are valid, for example requirements about classification (chapter 4), safety measures related to public traffic on and around dam sites (§ 7-6) and reporting of accidents (§ 7-11).

Dams impounding a reservoir volume < 10.000 m³ AND with a dam height < 2 m are automatically placed in consequence class 0 (minor consequences). All other dams have to be classified based on an assessment of failure consequences, in one of the classes, class 0 to 4. Class 0 represents minor failure consequences. The criteria for class 1-4 are given in the table below:

Criteria for assessment of danger to life, property and environment Consequence class Housing units Infrastructure Property/environment

4 >150

3 21-150 Road/railway with

heavy traffic, other infrastructure of very high importance to life

and health

Extensive damage to very important environmental values/property

2 1-20 Road/railway with

medium traffic, other infrastructure of high importance to life and

health

Extensive damage to important environmental values/property

1 <1 Road with less traffic,

other infrastructure of importance to life and

health

Damage to environmental values/property

The dam owner is responsible for proposing a class for every dam or waterway (penstocks or headrace tunnels to power plants), and NVE is responsible for controlling the classification documentation and approve the class. The dam owner has to evaluate both direct consequences to life, property and the environment, as well as any secondary effects from the dam break flood.

Today (2012) the public dam register contains data for approximately 3100 dams, whereof 341 dams are large dams (h>15 m). Approximately 370 dams are in the highest consequence classes (class 3 and 4).

Approximately 150 dams in the register are not classified yet, and many of the small dams in Norway are still not included in the register (but they will probably be put in class 0).

PORTUGAL

The Decree-Law 21/2018, 28^th March establishes two different regulations, which apply to large and small dams as follows:

• “Regulations for the Safety of Dams” (RSB), for “large dams”:

- dams with more than 15 metres of height, measured from the lowest part of the general surface of the foundations to the crest;

- dams with a reservoir capacity of over 1 hm³ and more than 10m of height;

• “Regulations for Small Dams” (RPB), for small dams, not subjected to the above mentioned RSB.

The Decree-Law 21/2018, 28^th March also establishes a unified classification system for all dams, with three classes, depending on the associated consequences and dimensions of the dams, as follows:

Class Consequences and potential danger

I Y ≥ 10 and X ≥ 1000

II

Y ≥ 10 and X < 1000 or

0<Y<10, independently of the value of X or

Existing infrastructure and important environment values III Y=0, independently of the value of X

in which:

- Y : fixed housing with permanent living people;

- X: Hx2√V with H = maximum height of dam wall in meters, measured from river bed level and V

= storage volume of reservoir at full supply level in million cubic meters.

With such formulation, large dams may fall in any of the three classes, but for small dams only classes II and III apply.

ROMANIA

The legislation contains specific rules according to the class of the dams

Class Height (m) Volume (hm³ )

Class 1 Class 2 Class 3 Class 4

h ≥ 100 25 ≤ h ≤ 100 10 ≤ h < 25 h < 10

V ≥ 500 20 ≤ V ≤ 500 1 ≤ V < 20 V < 1

SLOVENIA

There are three official categorizations of dams.

The first categorization is brought up by Regulation on the classification of structures and facilities of national importance (Official Gazette RS No.119/2011) and it applies to dams in design phase - more specifically to placement of the dam into space (environmental issues and impacts) and extent of necessary preliminary research and studies. The categorization refers to dams and to dykes.

Dams:

Very demanding structures Demanding

structures

H> 10m with crest length L>50m All the dams and

water retaining structures which don't apply with the listed

conditions for large dams H> 4m

and:

with storage capacity exceeding 100.000 m

with exceptionally difficult or problematic foundation conditions

which can threaten populated areas, Important public transport ways, utilities and energy infrastructure or good ecological status of areas downstream the dam

Dykes:

Very demanding structures Demanding

structures

H> 10m with crest length L>50m All the dams

and water retaining

structures which don't apply with the listed

conditions for large dams H> 4m

and:

With storage capacity exceeding 100,000 m

with exceptionally difficult or problematic foundation conditions

H>2m and:

Failure can threaten populated areas, important

public transport ways, utilities and energy

infrastructure or good ecological status of areas

downstream the dam

The second categorization defined by Regulation for classification of very demanding, demanding and simple engineering structures, about the conditions for construction of simple engineering structures that do not need building permit and about the type of construction works that are in reference with structures and appurtenant land (Official Gazette RS No.114/ 2003 and completion) refers to extent of elaboration in design phase – specifically to accuracy of elaboration and requirements for the design documentation and projects.

Very demanding structures Demanding structures

H> 10 m

and:

For earth fill dams with crest length L>250m

All the dams and water retaining structures which don't apply with the listed conditions for large dams Concrete dams with crest length

L>50m

All dams with crest length L>300 m

The third classification is presented by The Former Yugoslav monitoring and surveillance regulations – the classification is derived from categorization but is also taken into account by Protection against natural and other disasters act. It refers to operational phase and to Emergency preparedness:

Large dams Other dams

H> 15 m All the dams and water

retaining structures which don't apply with the listed conditions for large dams H > 10 m

and:

Length of the crest L>500m

Volume of reservoir V>1.000.000 m

Spillway capacity Q

>2.000m

/s Special foundation conditions Special design

SPAIN

Dams/Ponds covered by the new legislation are:

• Dams/Dikes of ponds of height (H, above foundation)

≥

≥ H ≥

≥

SWEDEN

The Environmental Code applies to all dams irrespective of size, purpose and consequences in case of dam failure. In 2014 new requirements were introduced for dams with a minimum height of 5 m and/or dams where a dam failure would result in the release of 100.000 m3 of water, tailings etc. For these the owner should give an assessment of the consequences of failure to the supervisory authority, who should decide if the dam should have a dam safety class or not.

Classification of existing dams is currently an ongoing process 2015-2018. Additional requirements in the Dam Safety Ordinance apply to classified dams. Svenska kraftnät (the national authority for dam safety) has issued regulations and guidance on consequence assessment and classification, and will issue regulations and guidance on the new requirements on classified dams.

In total there are some 10 000 dams in Sweden. For about 500 dam facilities a dam failure would result in significant damages such as loss of human life and health and/or serious damage to the environment, infrastructure or services vital to society and/or major economic damage. These dams will be assigned a dam

safety class A, B or C. A large majority of these dams where a dam failure could result in major consequences belong to enterprises within the hydropower and mining industries.

According to the Civil Protection Act special requirements are put on establishments where the activity implies a risk that an accident will result in serious damage to people or the environment (dangerous activities). About 100 dam facilities (with one or more dams) are classified as such.

SWITZERLAND

The dams subjected to the supervision by the "Authority of surveillance" (Confederation or cantons) correspond to the criteria :

h

≥

h

≥

≥

important danger for people or goods.

Are not subjected to inspection dams for which it is shown that they don't represent a particular danger for people or goods.

UNITED KINGDOM

i. In England, reservoirs that are capable of holding 25,000m³ or more of water are regulated under the Reservoirs Act 1975. The undertakers (owners or operators) of these reservoirs are required to register them with the Enforcement Authority (the Environment Agency) following which a designation of ‘high-risk’ or ‘not high-risk’ will be given. Those designated high-risk will be subject to inspection and supervision by reservoir engineers. Not high-risk reservoirs must be registered but are not subject to the same degree of inspection and supervision.

ii. In Wales, reservoirs that are capable of holding 10,000m³ or more of water are regulated under the Reservoirs Act 1975. The undertakers (the legal terms for the reservoir owners or operators) of these reservoirs are required to register them with Natural Resources Wales (NRW). NRW has a duty to designate reservoirs as high-risk reservoirs where they consider, in the event of an uncontrolled release of water, human life could be endangered. Reservoirs designated high-risk are subject to inspection and supervision by reservoir engineers. Reservoirs not considered to be high-risk remain registered but are not subject to the same degree of inspection and supervision.

iii. In Scotland, reservoirs that are capable of holding 25,000m³ or more of water are regulated under the Reservoirs (Scotland) Act 2011. Managers of these reservoirs are required to register them with the Scottish Environment Protection Agency (SEPA) following which a risk designation of ‘high’, ‘medium’ or ‘low’ will be given. Those designated high-risk will be subject to inspection and supervision by reservoir engineers. Those designated medium risk will be subject to supervision. Low risk reservoirs must be registered but are not subject to the same degree of inspection and supervision. The Act is being implemented in a phased approach with reservoirs over 25,000m³ being brought under the new regime first and the smaller reservoirs between 10,000 and 25,000m³ being brought under the Act at a later date.

iv. In Northern Ireland, reservoirs that are capable of holding 10,000m³ or more of water are controlled reservoirs and are regulated under the Reservoirs Act (NI) 2015. The managers of these reservoirs are required to register them with the Competent Authority following which a designation of either ‘high’, ‘medium’ or ‘low’ depending on the consequences of failure will be given. Those designated high or medium will be subject to inspection and supervision by reservoir engineers. Low consequence reservoirs must be registered with the competent authority, but are not subject to the same degree of inspection and supervision.

ALBANIA

a) Administrative organisation

The National Committee of Large Dams (ALBCOLD) as a state body of the Council of Minister exercises the state control for the dam safety as special important objects and represents the Albania to ICOLD.

The main tasks of ALBCOLD are:

• To support the technical progress in the design, construction, operation, maintenance and safety of dams in the interest of the economic and social development of teh country

• To Approve the project idea and details design of new dams as well as project of repair and rehabilitation of existing dams which are in use

• In cooperation with specialized institutions, it organizes and lead the preparation of all legal and technical documentation applied for dams and dykes

• To perform the verifying physical and documentary control during their construction and operations.

The users are obligated to respond in time and with professionalism to the request of ALBCOLD

• To Inform the Council of Minister for the conditions of dams and dykes and gives an technical opinion on the normal progress and dam safety.

• To approves the criteria for licence of design and construction of the dams and dykes

For the realization of tasks, ALBCOLD is supported by the Technical Council of Dams as its advisory body.

This body with highly qualified and independent experts gives an opinion on projects concerning new dams or repair of dams higher than 15 m above the ground level. Its opinion is also required for every subject of general interest.

The inspection of the administration is organised by Technical Inspectorate of Dams. It is a state body which exercise control during construction, operation and maintenance of dams. This Inspectorate is part of National Secretariat of Large Dams under the Ministry of Infrastructure and Energy

The National Agency of Civil Protection supports the dam’s users, state bodies and local authorities during the civil emergency cases caused by any large flow, flood or dam failure.

b) Owners

About 90 % of the Albanian dams are owned by Municipalities. The remaining dams are owned by public and private entities.

The primary responsibility for dam safety rests with the owner or user of the plant (appropriate operation, supervision, maintenance and rehabilitation if necessary). The owner or user of a dam is obliged to know the regulations concerning his dam, and on his own initiative, to ensure that these regulations are complied with.

The user set up a annual report every year and submit it to the ALBCOLD and responsible authority (Ministry of Infrastructure and Energy for Dams of Hydro energy, Ministry of Agriculture and Rural Development for Dams of Irrigation). The User are additionally obliged to measured the volumes of sediments in the reservoirs, every 10 years. The User have to guarantee that the dam is operated by qualified staff. They should have the Dam Engineer for one or some dams. The Dam Engineer is responsible for the dam safety, monitoring systems, operations and maintenance, implementation of emergency plan during the large flow, floods or any dam failure case.

c) Civil engineers

Special qualification of engineers who are in charge of dams is considered important. Since 2015, there is an official procedure for qualification of engineering consulting firms dealing with dams. All Detailed designs for construction or rehabilitation of the dams should be prepared by a licensed engineering firm.

B. THE ENTITIES CONCERNED

AUSTRIA

These are three levels or stages of authorities enforcing the Water Law :

• Supreme Water Authority (Federal Minister of Agriculture and Forestry) : o for dams h > 30 m (h: height above foundation level)

or V> 5 hm3 (V .... reservoir volume) o for river barrages on the River Danube

o for measures affecting severely the water affairs of foreign countries

• Provincial Governor for most of the other dams

• District Authority for structures of minor importance.

The Austrian Commission on Dams is a board made up by renowned experts of all disciplines involved in dam engineering. The main task of this group is to give expert judgement on dam projects – especially concerning safety. Furthermore it provides the background for the work of the Federal Dam Supervisory Section.

The Federal Dam Supervisory Section is an office established within the Federal Ministry of Agriculture and Forestry working on behalf of the Water Authority (ies). It examines the owner's annual safety reports and carries out inspections on site. (scope : dams with h > 15 m or V > 500,000 m³).

Dam Supervisory Officers are especially appointed by the Provincial Governors, to carry out checks periodically.

Civil protection measures or programmes are enforced by provincial and district authorities.

b) Owners

Primary responsibility for dam safety rests with the owner of the plant (appropriate monitoring, maintenance and provision for emergency measures). In case of a dam with h > 15 m or V > 500,000 m³, it is especially for this task that he has to appoint qualified civil engineers who also must be vested with appropriate executive powers in order to be able to take all measures necessary in the interest of safety - the “Dam Safety Engineers”

c) Civil engineers

Special qualification of engineers who are in charge of dams is considered important. However there is no formal approval, except for the “Dams Safety Engineers”.

FINLAND

a) Administrative organisation

The dam safety authorities are the following:

• The Ministry of Agriculture and Forestry is responsible for the general steering, follow-up and development of activities under the Dam Safety Act.

• The Centre for Economic Development, Transport and the Environment (ELY Centre) which is competent in dam safety matters functions as the dam safety authority. There are 15 ELY Centres in Finland and the dam safety supervision is centralized in three regional centres, the ELY Centres for Häme, Kainuu and Lapland. They officially supervise all aspects of dam safety, except rescue procedures.

Regional rescue authorities:

• Rescue services.

b) Owners

Owners have total responsibility for their dams. The owner of a dam is obligated to know the regulations concerning his dam, and on his own initiative, ensure that they are followed.